It is the end of the year, and many people are thinking about the status of their retirement accounts and planning any changes to their investments. FINRA also has retirement accounts on the brain. It is thinking about the ways member firms recommend investments in retirement accounts, and planning what to do about that.

FINRA recently issued Regulatory Notice 13-45, giving notice that one of its examination priorities in 2014 will be reviewing firm practices when recommending a rollover of assets from an employer-sponsored retirement plan to an IRA.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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